Compliance Manager
An exciting opportunity has arisen in the growing Compliance team of one of Europe's leading Investment Management firms. The individual will hold the position of Compliance Manager, and will be mainly responsible for advising and supporting UK business areas on regulatory matters.
The Compliance Manager is involved in regulatory aspects of key business processes such as financial promotion, distribution agreements and product approval.
OUTCOMES
• Responsible for providing compliance advice and approval of product development and modification
• Provision of advice and guidance to staff and senior management.
• Responsible for day-to-day regulatory sign off of institutional marketing materials on a global basis (excluding US and Asia)
• Maintain database of European and international marketing rules
• Provide training to applicable staff as and when required.
• Ongoing involvement with Marketing and Business Development teams on financial promotions control
• Review distribution agreements to ensure that it meets applicable regulations and UCITS requirements
• Provision of day-to-day compliance advice across UK business areas
• Ad hoc compliance and regulatory projects as they arise
• Support UK Advisory Compliance Officer and other areas as directed
• Provide guidance and support on the implementation and/or enhancements of procedures and controls as necessary
• Responsible for providing compliance advice and approval of product development and modification
QUALIFICATIONS
Tertiary qualification or equivalent.
SKILLS/KNOWLEDGE:
• Expert knowledge of UK and/or European financial promotion rules and advertising standards
• Overall good understanding of FCA regulations, especially COBS.
• Knowledge of regulatory framework; products, particularly in relation to UCITS and AIFMD
• Knowledge of Compliance best practice within the asset management industry
• Microsoft Office Suite skills (Word, Excel, PowerPoint, Outlook)
• Ability to work under pressure
• Attention to detail
• Excellent verbal and written communicator with good skills in developing relationships and working with staff at all levels
If you are interested in the position, and would like to find out more about the opportunity and the company, please call Katy Quicke at Hays Financial Markets on 020 3465 0110.
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